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					 State Ethics Commission

Financial & Personal Interest Disclosure:

  Statements of Economic Interest

              Basic Overview
 Financial & Personal Interest Disclosure
“The people have a right, an
  indisputable, unalienable,
  indefeasible, divine right to that
  most dreaded and envied kind of
  knowledge – I mean of the
  character and conduct of their
  rulers.”
                John Adams, 18th-century
                American Founding Father
 Financial & Personal Interest Disclosure

Current personal & financial interest disclosure
 requirements are primarily based on those
 applied to the Executive Branch for the past 30
 years through gubernatorial Executive Orders.

The financial disclosures required in the first
  “Ethics Order" are very similar to those in the
  last Order, which was the basis for Article 3 of
  the current Ethics Law.
    Legislators have also been filling out disclosure forms
                       since the 1970s
•   Occupations of the candidate & immediate household,
        including dependent children
•   Businesses with which associated
•   Directorships, partnerships, officers, etc.
•   Stock & bond ownership worth more than $5000
•   Associations with nonprofits, including directorships and
        leadership positions
•   Real estate holdings with a value greater than $5000
•   Creditors for debts greater than $5000
•   Vested trusts, including retirement trusts of any type
•   Businesses doing business with the State
•   Nonprofits receiving funds from the State
•   Professional clients
What is the purpose or goal of
 financial & personal interest
          disclosure?
                                 Article 3
                  Public Disclosure of Economic Interests

§ 138A-21. Purpose.
    The purpose of disclosure of the financial and personal interests by covered persons
is to assist covered persons and those persons who appoint, elect, hire, supervise, or
advise them identify and avoid conflicts of interest and potential conflicts of interest
between the covered person's private interests and the covered person's public duties. It
is critical to this process that current and prospective covered persons examine, evaluate,
and disclose those personal and financial interests that could be or cause a conflict of
interest or potential conflict of interest between the covered person's private interests and
the covered person's public duties. Covered persons must take an active, thorough, and
conscientious role in the disclosure and review process, including having a complete
knowledge of how the covered person's public position or duties might impact the
covered person's private interests. Covered persons have an affirmative duty to provide
any and all information that a reasonable person would conclude is necessary to carry
out the purposes of this Chapter and to fully disclose any conflict of interest or potential
conflict of interest between the covered person's public and private interests, but the
disclosure, review, and evaluation process is not intended to result in the disclosure of
unnecessary or irrelevant personal information. (2006-201, s. 1.)
What is the purpose or goal of financial &
      personal interest disclosure?

Ultimately, the goal of financial and
 personal interest disclosure and
 evaluation has been to help the
 public official:

 Identify & avoid conflicts of interest
 and appearances of conflict of
 interest.
   How does financial & personal interest
disclosure further that goal of helping public
          officials avoid conflicts?


   Introspection

   Third-party review

   Public inspection
    Affirmative Obligations of the Filer:
Covered persons must take an active, thorough, and
  conscientious role in the disclosure and review
  process, including having a complete knowledge of
  how the covered person's public position or duties
  might impact the covered person's private interests.

Covered persons have an affirmative duty to provide
  any and all information that a reasonable person
  would conclude is necessary to carry out the
  purposes of this Chapter and to fully disclose any
  conflict of interest or potential conflict of interest
  between the covered person's public and private
  interests,…
What are some of the things this provision
   asks you to look at and consider?

Potential conflicts between your private
 interests and your public duties.

   How do they potentially intersect?

   How could you possibly impact your private
    interests?
        What are “private interests”?

Anything that is not in the “public interest”:

    Financial or economic interests

    Familial interests

    Personal interests
      Easier for Some than for Others


Legislators & Judges present unique
  challenges from a conflict identification and
  evaluation standpoint.

The scope of their public duties are so all-
  encompassing and pervasive.
          Public Records
Pursuant to §138A-23, Statements of Economic
 Interest for covered persons are public
 records.

Statements of prospective public servants, and
  the Commission’s corresponding evaluations
  of the same, are not public records until the
  person has been appointed or employed by
  the State.
Statement of Economic Interest
       (“Long Form”)
    Mail original form to State Ethics Commission
               1324 Mail Service Center
               Raleigh, NC 27699-1324

       Office location: Administration Building
                116 West Jones Street
                     Room G-068
                    Raleigh 27601

        For assistance call: 919-807-4620

     e-mail: ethics.commission@ncmail.net

          www.ethicscommission.nc.gov
             -General Information-
When is the deadline for filing?
    The general filing deadline is March 15, 2007.
    The SEI is considered filed if POSTMARKED on
      or before March 15.
    With limited exceptions, individuals hired,
      appointed, and elected ON or AFTER January
      1, 2007, must have their SEI evaluated
      BEFORE they assume their positions.
    There is an exception for employees/appointees
      of new constitutional officers and for university &
      community college appointees/employees
              General Information

Do I have to fill out an SEI form if my term
 has already expired?

     Yes. By law, all state officers hold their positions
      until they are replaced or resign. The law does not
      provide for an exception for limited or short-term
      service, or for filling a soon-to-expire position.
   CONTACT INFORMATION
Name of Person Filing __________________

Address ______________________________

Job Title/Employer _____________________

Daytime Phone Number _________________

E-Mail Address ________________________
      CONTACT INFORMATION
Do I have to include my home address?
   Generally, yes. G.S. 138A-24(a)(1) requires that
    the filing person list his/her “home address.”
   However, “judicial officers” (judges, justices,
    district attorneys, and clerks of court) may use a
    business address instead of their home address.
   The main thing Commission staff is concerned
    with is being able to contact all covered officials.
      CONTACT INFORMATION
Do I have to provide an e-mail address?
   An e-mail address is not required, but it is
    generally the most expedient way for the Ethics
    Commission to contact you in the event we have
    questions about your SEI and to remind you of
    filing deadlines and provide you with other
    important information.
   We strongly encourage the use of e-mail
    addresses for both of our benefits.
  Listing Multiple Boards or Positions

If you are filing because you are serving on or being
   considered for appointment to a State board,
   commission, task force, authority, or similar public
   body, please list the full name(s) of all boards on
   which you are serving or to which you are being
   considered for appointment.

Be sure to include all State boards on which you are
  serving.
      Multiple Boards or Positions

    Does this include my service on
          “advisory” boards?
   No, it does not. You only need to list those
    State boards defined in §138A-3(1) as
    determined and designated by the Ethics
    Commission.

   This does NOT include “advisory” boards.
       Multiple Boards or Positions

Do I have to file a separate form for
 each board on which I am or will be
 serving?
    No, you do not. You can file one form listing all
     covered State boards on which you serve.

    But pay particular attention to each question in
     the context of the different boards on which
     you are serving.
    Please provide the following information concerning your spouse and the other
    members of your immediate family**. If the information requested does not apply,
    please indicate “none.”


         Name (First, Last)      Occupation          Employer           Business

         Jane Doe             Attorney           Dewey,              Law Practice
         (filer’s spouse)                        Cheatum, &
                                                 Howe
         John Doe III         None (student)     None                None
         (son)
         John Doe, Sr.        Retired            None                None
         (filer’s father
         who lives with
         filer)



**Immediate family includes your spouse (unless legally separated) and members of your extended
family (your and your spouse’s children, grandchildren, parents, grandparents, and siblings, and
the spouses of each of those persons) that reside in your household.
             Family Information
For which members of my family
 do I have to provide information?
    Yourself
    Your spouse (unless you are legally
     separated)
    Unemancipated children living with you
    Members of your extended family who live
     with you (reside in your household)
            “Extended Family”
“Extended family” consists of
 Your spouse

 You & your spouse’s lineal descendents AND THEIR SPOUSES:
   - children
   - grandchildren
   - great-grandchildren

 You & your spouse’s lineal ascendants AND THEIR SPOUSES:
   - parents
   - grandparents
   - great-grandparents

 You and your spouse’s siblings AND THEIR SPOUSES.
   Only Extended Family Members
    Residing in Your Household

Unless the question expressly says
 otherwise, you only need to list
 information pertaining to extended
 family members who live with you
 (reside in your household).
 What about children who are attending
               college?
The Ethics Act does not address
 children who are living away from
 home at college.

Until this issue is resolved, you should
 consider including children attending
 college if they are claimed as
 dependents on your tax returns.
  Assets & Liabilities With a Value of $10,000 or More


I. $10,000 PLUS DISCLOSURES
   If you, your spouse, or other members of your
   immediate family have assets or liabilities with a
   market value of at least $10,000 in the following
   categories, please provide the requested
   information as of December 31st of the
   preceding year, unless another time period is
   specified in the question.

  ►You are not required to include an estimated
  value of those assets and liabilities.
             No “Net Worth”

We are NOT seeking to establish or determine
 your net worth.

Only those items that exceed the statutorily-
 mandated thresholds:
     $10,000 for most items;
     $5000 for sources of income.
     “Snapshot” on December 31

Unless the question specifies otherwise
 (like Q #10 on sources of income)
 it is asking for a “snapshot” of your
 situation as of December 31st of the
 preceding year.

Some questions do look back further than
 that.
    Assets & Liabilities With a Value of $10,000 or More

Six general categories of $10,000 plus disclosures:
   Real Estate
   Personal Property
   Interests in Publicly-Owned Companies
   Interests in Non-Publicly-Owned Companies
   Vested Trusts
   Liabilities
                                 Real Estate

REAL ESTATE
1. List all North Carolina real estate in which you, your spouse, or other
   members of your immediate family have an ownership interest with a
   market value of $10,000 or more.




        Owner of Real Estate   Location by County and City      % Ownership Interest

    Joe Filer                  Raleigh, Wake County          All (with spouse)
    Joe Filer                  New Hanover County            Same
    Jane Filer (spouse)        Boone, Watauga Co.            50% (w/ brother)
                  Real Estate
   Do I have to disclose real estate owned
    OUTSIDE of NC?
       No, only real estate located within NC?

   Do I have to specify the address or parcel
    number of real estate?
       No, you only have to specify the
       location of real estate by City & County.
                 Real Estate

If I own multiple tracts of real estate in the
   same city or county, do I have to list them
   separately?

  No, you do not.

  However, if you list multiple tracts that way,
  be sure they all have the same owners – that
  the percentage of ownership is the same for
  all of them.
                          Real Estate
   Do I have to disclose real estate owned by a partnership in which I
    participate?
          No, this question only asks for disclosure of real estate
          owned by the filer or a covered family member directly.

   Do I have to disclose real estate owned by a company in which I
    have an interest?
         No, only real estate that you own directly.

   Do I have to disclose real estate owned by a trust of which I am a
    trustee?
          No, only real estate that you own directly.
                      Real Estate

There may be some confusion about real estate held by
  partnerships, companies, LLCs, trusts, or other entities
  in which you have an ownership interest:

  You do NOT have to list those entities’ assets, including
  real estate, in your response to Q #1.

  BUT, real estate held in the form of an LLC would have
  to be listed in Q #6 (non-publicly owned companies) if
  your financial interest in it is $10,000 or more.
                      Real Estate Leased To or From the State



2. List all North Carolina real estate with a market value of $10,000 or
   more that is leased or rented to or from the State by you, your
   spouse, or other members of your immediate family. Please identify
   the State agency involved in the property lease.




          Identity of Lessor     Identity of Lessee (Renter)   Location by County and City

       Joe Filer                Department of                  Raleigh, Wake Co.
                                Transportation                 (office building)
Personal Property Sold To or Purchased From the State

3. List personal property with a market value of $10,000 or more that was sold to
or purchased from the State by you, your spouse, or other members of your
immediate family within the preceding two years. Please identify the State agency
involved in the purchase or sale of the property.




          Identity of Purchaser    Identity of Seller   Nature and Location of Property
  Personal Property Leased To or From the State

4. List personal property with a market value of $10,000 or more that was leased
or rented to or from the State by you, your spouse, or other members of your
immediate family. Please identify the State agency involved in the property lease.




            Identity of Lessor       Identity of Lessee (Renter)   Nature and Location of Property




                Questions 3 and 4 only pertain to personal property purchases and
                lease transactions WITH AGENCIES OF THE STATE OF NC.
       Interests in Publicly Owned Companies
5. List the name of each publicly owned company in which you, your spouse, or
other members of your immediate family own securities valued at $10,000 or
more.

►Do not identify holdings in a mutual fund, including those mutual fund
holdings in a 401(k), 403(b), 403(b)(7), or 457 Plan.
►Do not state the value of your securities.


               Owner of Securities                Name of Company


      Joe Filer                          IBM
      Joe Filer                          Ford Motor Company
      Joe Filer                          Wachovia Bank
      Jane Filer (spouse)                Google
      Interests in Publicly Owned Companies

You do NOT have to disclose:
    Interests in mutual funds

    Interests in mutual funds held through a profit-
     sharing, retirement, or deferred compensation
     plan

    Interests in Index Funds (like a mutual fund)

    The VALUE of publicly owned securities
 Interests in Publicly Owned Companies


You DO have to disclose:
    The names of public companies in which you own
     the threshold amount of stock.

    The names of public companies in which you own
     the threshold amount of bonds.

    Threshold interests in individual stocks or bonds
     that are held in a brokerage account.
Interests in Publicly Owned Companies


Can I respond to this question by attaching
 a list or schedule from my financial
 advisor, broker, tax attorney, etc.?

 Yes, but please label the attachment by
 letter or number and reference the
 attachment in your response.
  Interests in Publicly Owned Companies

If you attach a list or schedule from
   your financial advisor, broker, tax
   attorney, etc.,

 please black out or cover up any
 personal account or identifying
 information (like Social Security
 Numbers).
   Interests in Publicly Owned Companies

The only potentially useful purpose of listing interests
  in publicly-owned companies is to see if there is a
  potential conflict between the filer’s official duties
  and the particular company in which he or she has a
  threshold ownership interest.

Therefore, we need the name of the company, or the
  official trading symbol or abbreviation for it.

Please do not just say “various securities” or list the
  name of the brokerage company managing
  individual stock holdings.
   Interests in Publicly Owned Companies

May I identify the public companies in which I
 own threshold amounts of stock by their
 official stock exchange symbol or
 abbreviation (like the NYSE or NASDAQ)?

  Yes, you may, as long as we can identify the
  particular stock by reference to the
  exchange’s official listing.
           Interests in Non-Publicly Owned
            Companies or Business Entities

6(a). List financial interests valued at $10,000 or more that you, your spouse, or
other members of your immediate family have in a non-publicly owned company or
business entity (including interests in partnerships, limited partnerships, joint
ventures, limited liability companies, and limited liability partnerships, and closely
held corporations).

                                                                Specify if the owner is an officer,
                                                             employee, owner, director, or partner
                                                              of the company, or a member or
        Owner of Interest            Name of Company     or Business Entity manager of a limited liability
                                                                            company

   Joe Filer                   J & J Investments          Owner & Partner


   Joe Filer                   Round Hill Properties, LLC Manager
    What types of companies or business entities are
                    included here?

   Partnerships
   Limited partnerships
   Joint ventures
   Limited liability companies
   Limited liability partnerships
   Closely-held corporations
6(b). For each of those non-publicly owned companies or business entities
identified in question 6(a)(the “Primary Companies” for the purposes of this
question), please list the names of any other companies in which the Primary
Company owns securities or equity interests valued at over $10,000, if known.




              Non-Publicly Owned Company    Other Companies in which the Primary Company
                 (the Primary Company)           Owns Securities or Equity Interests

         Round Hill Properties, LLC        Meador Manor, LLC
Interests in Non-Publicly Owned Companies or Business Entities


In response to question 6 (b), list
  Other companies or business entities, like
      partnerships, limited partnerships,
      joint ventures, limited liability companies,
      limited liability partnerships, and
      closely held corporations

  In which the “primary company” has
      Securities or equity interests over $10,000.
Interests in Non-Publicly Owned Companies or Business Entities



6(c). If you know that any company or business entity listed in 6(a) or (b)
above has any material business dealings, contracts, or other involvement
with the State, or is regulated by the State, provide a brief description of that
business activity.




            Identify Company or Business Entity   Nature of Business Relationship with the State
                                   Vested Trusts

7. If you, your spouse, or other members of your immediate family are the
beneficiaries of a vested trust with a value of $10,000 or more that is created,
established, or controlled by you, provide the following information.




       Name & Address of Trustee     Description of the Trust   Your Relationship to the Trust
                Vested Trusts

In basic terms, a “trust” is a right of property
  held by one party for the benefit of another.

Something is “vested” when it is fixed, accrued,
 settled, absolute; not contingent or subject to
 being defeated.
                   Vested Trusts

There are 2 elements that must be met before
   a vested trust is required to be listed:
      You, your spouse, or another member of your
       immediate family are beneficiaries of a vested trust
       AND
      You created, established, or control the trust.
            Vested Trusts

You do NOT have to list any trusts
 created, established, or controlled by
 someone else.
                                Liabilities
8. List each liability of $10,000 or more incurred by you, your spouse, or other
members of your immediate family, excluding indebtedness on your residence.


                                                      Type of Creditor
               Name of Debtor           (Commercial Bank, Credit Union, Individual, etc.)


     Joe Filer                          Wachovia Bank (car loan)
                                        State Education Assistance
     Joe Filer, Jr. (son)               Authority (student loans)
                         Liabilities

This includes:
     Credit card debt
     Student loans

     Car loans

Of $10,000 or more.
                     Liabilities

This does NOT include:
   Mortgage debt – indebtedness on your
    residence, including indebtedness on multiple
    homes.

   Home equity loans – this is debt on your
    residence.
II. OTHER DISCLOSURES
9. If you, your spouse, or other members of your immediate family are a director,
officer, governing board member, employee, or independent contractor of an
organization established for religious, charitable, scientific, literary, public
health and safety, or educational purposes, provide the following information. If
that organization does business with the State, please describe the nature of
that business relationship.

        Identify Person     Name of Organization      Nature of Business    Describe State Business


   Joe Filer, Jr.         Citizens for Public      Public interest org.    None (but
   (CRC member)           Beach Access             to maximize &           organization
                                                   protect public          appears before
                                                   access to beaches       CRC & EMC
   Jane Filer             Meredith College         Private higher          None
   (spouse)               (Trustee)                education institution

   Joe Filer, SR.         Preston Oaks             Religious               None
   (filer’s father)       Church (deacon)          institution
 Q #9: What type of relationships is this question
                 looking for?

Leadership & employment positions:
   Directors
   Officers
   Governing board members
   Employees
   Independent contractors
Q #9: What type of organizations or entities does
             this question cover?

Any public or private enterprise that is
  organized or operating in NC primarily for
 Religious

 Charitable

 Scientific

 Literary

 Public Health & Safety or

 Educational purposes.
Q #9: Could this include serving as a deacon or
         other leader in my church?


  Yes, if this position is part of the
   governing body of the church.
Sources of Income
    Question #10
10. List each source of income (not specific amounts) of more than $5,000
received by you, your spouse, or other members of your immediate family
during the preceding year. Include salary or wages, professional fees,
honoraria, interest, dividends, capital gains, and business income.


          Recipient of Income     Identify Source    Nature of Business     Type of Income

        Joe Filer, Jr.          IBM                 Computers,            Salary &
                                                    software, etc.        Bonuses
        Jane Filer              Wake County         Public Schools Salary
                                                    Teacher
        Joe & Jane              115 Beach St.       Rental Home           Rental income
        Filer                   Kitty Hawk
        Joe Filer, Sr.          State of NC         DOT                   Retirement
        (lives w/ son)                              (Retired)             benefits
        Joe Filer, Sr.          U.S.                Government            Social
        (lives w/ son)          Government                                Security
                                                                          benefits
       Sources of Income Greater Than $5000

This question is asking for the source of the
  income greater than $5000, not the amount.
What is the “source” of the income?
 Where you got it -- the name of the person or
 entity that provided the income.
 For example, your employer, the bank paying
 the interest, the public company paying
 dividends, the federal government for
 tobacco allotment buyouts, etc.
Sources of Income Greater Than $5000

What types of income are included?
   Salary or wages
   Professional fees
   Honoraria
   Interest
   Dividends
   Capital gains
   Business income
            Sources of Income

Do you have to list Social Security income?
    Yes

Do you have to list income from your state
 or federal retirement plan?
    Yes
                   Sources of Income
   Do I need to report capital gains or dividends
    that are reinvested in an investment account?
       If you need to claim it on your federal income tax
        return, then you should list it.
       If it is not reportable on your tax return, you do not
        have to list it.

   Do I need to report capital gains or dividends
    paid to 401(k), IRA, or other types of deferred
    compensation or retirement accounts?
       If it is not reportable on your federal income tax return,
        you do not have to list it.
                        Sources of Income
   Do I have to disclose capital gains and dividends if the
    total value from different sources is over $5000?
       No, you only have to disclose capital gains and dividends if they
        total more than $5000 from a single source.
       Examples:
           You received a dividend of $2000 from company stock A, a dividend
            of $3000 from company stock B, & a dividend of $4000 from
            company stock C. You do not have to disclose any of them as none
            individually equaled $5000.

           For a non-retirement mutual fund, you would look to the total capital
            gains & dividends received from each individual mutual fund (e.g.,
            Vanguard Total Stock; Vanguard International Fund, Fidelity Growth
            & Income Fund, etc.), rather than the cumulative gain from the
            mutual fund company (e.g., Vanguard; Fidelity).
             Sources of Income
If I have listed a source of income in question #10,
    do I still have to answer question #11 and
    question #12?
  Yes. Please respond to each question
  separately. Question #10 has an over $5000
  threshold for disclosure, whereas questions 11
  & 12 have an over $10,000 threshold. The
  answers could be different.
  For example, if you were paid $6000 in
  consulting fees as a non-attorney licensed
  professional, you would need to report it in Q
  #10 but indicate “none” in Q #12.
  11. If you are a practicing attorney, please check each category of legal
representation in which you or the law firm with which you are associated
    has earned legal fees of $10,000 or more during the preceding year.
 ( ) Administrative          ( ) Admiralty   ( ) Corporate ( ) Criminal
  ( ) Decedents’ Estates ( ) Environmental ( ) Insurance ( ) Labor
   ( ) Local Government ( ) Real Property ( ) Securities ( ) Tax
   ( ) Tort litigation (including negligence)    ( ) Utilities regulation




    Do I have to state “None” if I am not a practicing attorney?

    It will certainly help us determine that you have considered and
    responded to each question. Please write the word “None” beside the
    question.
12. If you are a licensed professional (other than an attorney) or provide
consulting services individually or as a member of a professional
association, provide the following information for those services for which
you charged or were paid over $10,000 during the preceding year.




           Type of Business               Nature of Services Rendered


   Accounting firm                     General accounting services
   Engineering Firm                    General engineering services
   Medical practice                    Medical (general practice)
               Licensed or Regulated by Your Organization


13. If, as of December 31st of the preceding year, you, your employer, your spouse,
or other members of your immediate family, or their employer, were licensed or
regulated by, or had a business relationship with, a board or employing entity with
which you are or will be associated, please provide the following information.

►You are not required to complete this question if you are a legislator or a judicial
officer (a justice or judge of the General Court of Justice, district attorney, or clerk
of court). Please indicate if this is the case.


        Identify Person         Identify Employer (if applicable)   Business or Regulatory Relationship


John Doe                       J&J Engineering                      I, my wife, and my employer are
                                                                    licensed by the Engineers &
                                                                    Surveyors Licensing Board, of
                                                                    which I will be a member
Jane Doe [spouse]              J&J Engineering                      See above.

Don Doe [John’s father]        Mountain Surveys, Inc.               My father is a licensed surveyor.
                Connections with Interested Organizations


14. If, as of December 31st of the preceding year, you, your spouse, or other
members of your immediate family were members or officers of, or otherwise
affiliated with, any societies, organizations, or advocacy groups which had an
interest in issues over which your agency or board has jurisdiction, please
provide the following information.

  ►You are not required to complete this question if you are a legislator or a
   judicial officer. Please indicate if this is the case.



                                                                    Relationship with Group,
         Identify Person        Identify Name of Organization    including Leadership Positions


     John Doe [member of the   NC Coastal Federation            President & on the Board of
     NC Coastal Resources                                       Directors
     Commission]
     Jane Doe                  Citizens for a Moratorium on     Founder & CEO
                               Coastal Development
           Q #14: Interested Organizations

   What is an “interest” in issues over which your
    agency or board has jurisdiction?
       There must be a reasonable connection between the
        society, advocacy group, or organization and the
        public servant’s agency or board.


   Does this include a mere membership in an
    interested society, organization, or advocacy
    group?
       Yes, according to 138A-24(a)(7).
                       Felony Convictions

15. Have you ever been convicted of a felony? ___ Yes ___ No
    If so, please provide the following information.



          Offense               Date of Conviction   County and State of Conviction
                    Felony Convictions

   How far back do I have to report a felony
    conviction?

   Does this include expunged or pardoned
    convictions?

       §138A-24(a)(9) asks for a list of any felony
        convictions
       The law does not contain a time limit or other
        qualification on this disclosure
   Out-of-State Gifts for the Purpose of
       Lobbying & “Scholarships”

Questions 16 & 17 are included in 2007 for
 informational and record-keeping purposes.
You do NOT have to answer them in 2007.
They are included now so you can keep track
  of any out-of-state gifts given for the purpose
  of lobbying or “scholarships” (whether or not
  for lobbying) with a total value over $200.
►Questions 16 and 17 are applicable to SEI’s filed beginning on January 1,
2008. If you are filing this SEI in 2007, do not complete these questions.


16. During any calendar quarter in the preceding year (but only the time period
after you were appointed, employed, or filed or were nominated as a candidate),
have you received any gifts with a total value of over $200 from a person or a
group of persons acting together and under circumstances that would lead a
reasonable person to conclude that the gifts were given for the purpose of
lobbying? ___ Yes ___ No If so, and if the gifts were given to you while you and
the donor were outside the State of North Carolina, please provide the following
information.



        Date Item Rec’d   Name of Recipient       Donor       Describe Items Received



    February 14, 2007     Joe Filer           Jack Abramoff   Lear Jet [given in
                                                              Washington, D.C.]
 Out-of-State Gifts for the Purpose of Lobbying



Gifts over $200 per calendar quarter given by a
  person who is out-of-state, while you are also
  out-of-state, which are given under
  circumstances that would lead a reasonable
  person to conclude that the gifts were given
  for the purpose of lobbying.
    Out-of-State Gifts for the Purpose of Lobbying

Break it down:
 Gifts over $200 per calendar quarter
       -- accumulate all gifts from the same donor in the
          calendar quarter;

   Both the donor and you are out-of-state;
   Which are given under circumstances that
    would lead a reasonable person to conclude
    that the gifts were “given for the purpose of
    lobbying.”
 Out-of-State Gifts for the Purpose of Lobbying

What is lobbying”?
 Section 120C-100(a)(9) defines “lobbying”:
      Influencing or attempting to influence legislative or
       executive action, or both, through direct
       communication or activities with a designated
       individual or that person’s immediate family.
      Developing goodwill through communications or
       activities, including the building of relationships,
       with a designated individual or that person’s
       immediate family with the intention of influencing
       current or future legislative or executive action.
 Out-of-State Gifts for the Purpose of Lobbying

How do you know a gift is given “for the
 purpose of lobbying”?
  “Reasonable person” test.
  If someone is giving you something just
  because you are a legislator or public
  servant, a reasonable person might conclude
  that the gift is for the purpose of lobbying,
  even if only “goodwill” lobbying.
  The safest thing to do is to report it.
Out-of-State Gifts for the Purpose of Lobbying


  “Lobbying” does not include
  communications or activities that are part
  of a business, civic, religious, fraternal,
  personal, or commercial relationship
  which is not connected to legislative or
  executive action.

  Section 120C-100(a)(9), definition of lobbying.
                            Out-of-State “Scholarships”


17. During the preceding year (but only the time period after you were appointed,
    employed, or filed or were nominated as a candidate) have you accepted a
    scholarship (defined as a “grant-in-aid to attend a conference, meeting, or similar
    event”) of over $200 from a person or a group of persons acting together?
    ___ Yes ___ No      If so, and if the scholarship was given to you by a donor who
    was outside the State of North Carolina at the time the scholarship was granted,
    please provide the following information.




        Name of Recipient               Donor             Describe Items Received
        Out-of-State “Scholarships”

What is a “scholarship”?

  Section 120C-800(g) defines “scholarship” as
  a “grant-in-aid to attend a conference,
  meeting, or similar event.”
         Out-of-State “Scholarships”

Question #17 asks you to list any “scholarships”
 over $200 which were given to you by a donor
 who was outside NC at the time.

There is no “lobbying” test -- it does not matter if
  the scholarship was “for the purpose of lobbying”
  or not.

You only have to list those scholarships that were
  given to you by a donor OUTSIDE of NC.
Out-of-State Gifts for the Purpose of Lobbying &
                 “Scholarships”

Confusion over questions 16 & 17:
         “__ Yes __ No”

You only have to keep track of out-of-state
 gifts and scholarships.

You do NOT have to track or list in-state
 gifts in these questions.
                          Lobbyist Question -- §120C-304(e)


    ►Question 18 is applicable to SEI’s filed by individuals appointed or
    reappointed to State boards and commissions on or after January 1, 2007.


18. Are you currently registered as a lobbyist? ___ Yes ___ No If so, identify each
lobbyist principal that you represent in your capacity as a lobbyist and over which
any public body to which you were appointed or reappointed had regulatory
authority.




           Lobbyist Principal     Effective Date of Registration   Date of Registration Expiration
                       “Any Other Information” Question



19. Please provide any other information necessary to fully disclose any
actual or potential conflicts of interest you may have had during the
preceding year or have currently. This includes actual or potential
conflicts of interest related to past personal or business relationships. If
you are uncertain as to whether additional information should be
disclosed, please contact the Commission for guidance.
   Question 19: “Any Other Information”

This question is based on §138A-24 (a) (10) of the
Ethics Law, which states that the form shall include

(10) Any other information that is
necessary either to carry out the
purposes of this Chapter or to fully
disclose any conflict of interest or
potential conflict of interest.
       Question 19: “Any Other Information”

What is this question looking for?
  It is looking for those financial, personal, or
  familial situations that are not disclosed or
  explained elsewhere but are relevant to a
  complete understanding of those interests
  that could be or cause a conflict or potential
  conflict between the person’s private interests
  and their public duties.

It is very subjective, and that presents some
   unique challenges under the new law.
          Question 19: “Any Other Information”


“This includes actual or potential conflicts of
  interest related to past personal or business
  relationships.”

  The intent of this sentence is to point out that
  you can have a present conflict based on
  something that happened or existed in the past.

  And that potential conflicts can arise from your
  private and personal interests and relationships.
          Question 19: “Any Other Information”


This question presents some unanticipated
  challenges both for filers and the Ethics
  Commission.

Until there is a clarification, perhaps we can
 benefit from looking at how other covered
 persons have answered this question.
 Question 19: “Any Other Information”

“[My spouse] served as a part time
  permanent employee with ___________
  Associates during 2006. This firm
  performs work for [my state agency]. As of
  12-15-06, she is no longer employed with
  them as she has started her own …
  engineering business which potentially
  could perform work for [my state agency].”
Question 19: “Any Other Information”


“In 2006 I had a small … contract with
[my agency] through [a university] to
engage in a research project. It ended
12-31-06.”
 Question 19: “Any Other Information”




“I may need to register as
  a lobbyist in 2007.”
 Question 19: “Any Other Information”


“I am a Trustee of _______
  College Health Sciences, an
  institution which provides
  some competing programs
  with [my community college].”
 Question 19: “Any Other Information”

“I have a niece who is employed at [my
   University.]”

“My daughter is [a student at my University.]”
 Question 19: “Any Other Information”


“I served 12 years as
  commissioner in _________
  County, N.C. I left the
  Board in December 2006.”
 Question 19: “Any Other Information”

“I am a member of _____ Church. I serve on
several committees but not the Board of
Deacons. The church is exploring parking
options on land it owns. Should they appeal
to the State of North Carolina, [my agency]
would be their contact point.”
 Question 19: “Any Other Information”

“Spouse is a paid consultant for two
pharmacy associations dealing with
compounding of pharmaceuticals…. This
issue may be regulated by [my board]. If
appropriate, I would recuse myself from
deliberation on these issues before the [my
board].”
 Question 19: “Any Other Information”

“I am, and have been for over 21 years, a
business associate with many nurserymen
within this state, many of whom are regulated
by this board. I feel I can render fair decisions
regarding any matters or recuse myself if
there is a conflict of interest.”
Question 19: “Any Other Information”

“As a director for ______ Residential
Services..., we may apply for loans
from [my board]. If so, I would abstain
from voting….”
Question 19: “Any Other Information”

“My company … manages properties that are
regulated by the [my board] or DFS at the
Department of Health and Human Services. I
am a general partner in partnerships that own
rental properties, managed by [my company],
in most cases, that are regulated by the [my
board].”
Question 19: “Any Other Information”


“My office had a contract for consultant
services with a company I worked for in 2001.
The company is ____________________.”
 Question 19: “Any Other Information”


“My [spouse] and I own property in
 areas where … Commission
 Rules apply, including property
 adjacent to the Northeast Cape
 Fear River in Pender County.”
Question 19: “Any Other Information”

“I am majority owner of a …
motorcycle dealership which is
licensed and regulated by the
state of N.C. I am majority owner
of [another company] which is
licensed and regulated by the
state of N.C.”
 Question 19: “Any Other Information”

“Potential conflict with company
 my [spouse] works for. I
 recuse myself from dealing
 with permit requests from their
 company.”
Question 19: “Any Other Information”


“Sole customer for [my]
small business … is a
state agency….”
 Question 19: “Any Other Information”

“I am a certified public accountant
   licensed by the North Carolina State
   Board of Certified Accountant
   Examiners.”

“I am a home inspector. I am a member
   of the board that licenses &
   disciplines home inspectors.”
Please ensure that you have responded to all questions and that you
have stated “None” in response to those questions in which you have
nothing to disclose. In the event you fail to answer a question, your
disclosure statement will be returned and you will be required to correct
any deficiencies, reaffirm the content of the form, and have the
reaffirmation notarized.



    ** North Carolina law establishes a fine of $250 for failure to file a complete
    Statement of Economic Interest. In addition, it is a Class 1 misdemeanor
    to knowingly conceal or fail to disclose required information, and a
    Class H felony to provide false information on a Statement. Such actions
    can also subject you to disciplinary action in connection with your employment.**
                  Oath or Affirmation

  I hereby swear or affirm, under penalty of perjury and
other penalties established by North Carolina law, that I
have read this Statement of Economic Interest and any
 attachments and that the information provided on the
  Statement and any attachments is true, correct, and
complete to the best of my knowledge and belief. I also
certify that I have not transferred, and will not transfer,
   any asset, interest, or property for the purpose of
    concealing it from disclosure while retaining an
                    equitable interest.
Statement of Economic Interest
       (“Long Form”)
    Mail original form to State Ethics Commission
               1324 Mail Service Center
               Raleigh, NC 27699-1324

       Office location: Administration Building
                116 West Jones Street
                     Room G-068
                    Raleigh 27601

        For assistance call: 919-807-4620

     e-mail: ethics.commission@ncmail.net

          www.ethicscommission.nc.gov

				
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